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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-04-21 |
| CA | RA | APPROVED | 2023-10-16 |
Branch Locations
3300 Tully Road Ste. D5A, Modesto, CA 95350 • United States
Modesto, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Alternative Insurance Solutions | Modesto | CA | 05/2005 | Present |
| Epiq Risk Management & Insurance Services | Modesto | CA | 11/2013 | Present |
| Principal Securities Inc | Modesto | CA | 03/2016 | 10/2023 |
| Commonwealth Financial Network | San Diego | CA | 10/2023 | Present |
1. Fixed insurance sales; as of 1/01/2007; 50% of time spent during business hours; Conducted at branch location; Investment related. 2. Co-owner, EPIQ Risk Management and Insurance Services, Inc.; a private entity established to facilitate securities, advisory, and insurance business; as of 1/01/2007; 0% time spent during business hours; Conducted at branch; Investment related. 3. Co-owner, EPIQ Properties, LLC; an entity created for the purpose of buying and managing residential real estate in Modesto, CA and Goodlettsville, TN, as of 11/27/2024; 0% of time spent during business hours; Not conducted at branch; Investment related. 4. Co-owner of rental property located in Goodlettsville, TN, as of 11/27/2024; 0% of time spent during business hours; Not conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-12-28 |
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